April 17, 2025
Introduction: The Exam That Shaped a Decade In 2007, the SEC’s examination of a midsize advisory firm uncovered a chain of internal miscommunications that, while not fraudulent, revealed a failure to […]
Browse general insights on compliance, risk management, industry trends, operations, and regulatory developments.
April 8, 2025
Introduction: The Real Cost of Scrambling In 2017, Equifax failed to patch a known vulnerability. As a result, 147 million people had their personal data exposed. It wasn’t a high-tech heist, […]
April 3, 2025
Introduction: An Industry on the Move FutureProof Citywide 2025 brought the RIA community face-to-face with the pace of its own transformation. The conversations pulsing through the boardwalk in Miami Beach were […]
March 26, 2025
If you want to understand where compliance is headed, follow the crowd to Washington, D.C. – or more specifically, to the IAA Compliance Conference at the Marriott Marquis. In 2025, it wasn’t […]
March 14, 2025
Compliance in the RIA world has always been like The Matrix: everywhere, shaping how firms operate, defining what’s possible. No testimonials, no performance advertising, no client endorsements. But just like Neo learning […]
March 7, 2025
Introduction: Opening Moves: Setting the Compliance Board In 2024, the SEC charged 26 financial institutions, including major broker-dealers and investment advisers, with widespread recordkeeping failures, resulting in combined penalties exceeding $390 […]
February 27, 2025
Records Rule the World: Why Compliance Starts (and Ends) With Documentation As pretentious as it might sound, history is written by those who keep the records. Contracts carved into Mesopotamian clay […]
January 29, 2025
The stakes of trade monitoring for RIAs are high. This is not a rare scenario: an SEC audit uncovers a missing piece in an RIA’s trade monitoring process, landing them with fines […]
January 24, 2025
Introduction: The Foundation of Trust Conflicts of interest are the silent disruptors of trust in Registered Investment Advisor (RIA) firms. Beyond regulatory mandates, managing these conflicts effectively is about demonstrating a […]
